Episode 23: Scary Cybersecurity Enforcement Action – Voya Financial Advisors
To help everyone get into the spooky Halloween Spirit, episode 23 features Core Compliance’s CEO Michelle Jacko discussing a recent enforcement action dealing with cybersecurity and cybersecurity breaches.
Episode 19: Year End Preparations
On this week’s episode of the CCO Buzz we have Lead Senior Compliance Consultant Tina Mitchell. She provides a few helpful considerations for firms to keep top of mind as they prepare for Q4 and the upcoming new year. She … Read More
Compliance Alert: OCIE Issues Best Execution Risk Alert
Among a variety of other requirements, investment advisers have a fiduciary duty to seek the best available execution for each client’s trades at the most favorable prices possible under current market conditions.
5 Compelling Reasons to Seek Outsourced Compliance Services
For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, … Read More
Aging Client Considerations at Top of 2018 SEC Exam Priorities
The SEC has released its 2018 examination priorities, and the focus on, and protection of, aging clients, and considerations related to such clients (as a subset of retail investors generally), is a continuing theme. The focus on these investors has … Read More
Preventative Regulatory Compliance — Save Time and Money (and Headaches) up Front
“An ounce of prevention is worth a pound of cure,” and nowhere is that more applicable than in the world of finance. Preventative, proactive compliance programs save enormous amounts of time, money, and sanity. As most firms are well aware, … Read More
2018 Investment Adviser Compliance Conference – Discussions with the SEC
The Core Compliance team recently returned from the IAA National Conference, which took place in Washington, DC, on March 15 & 16. We had the pleasure of attending two packed days full of discussions, which were kicked off by … Read More